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United States General Accounting office:
GAO:
Testimony:
Before the Subcommittee on Government Efficiency, Financial
Management, and Intergovernmental Relations, Committee on Government
Reform, House of Representatives:
For Release on Delivery:
Expected at 10:00 a.m.
Monday, July 1, 2002:
Homeland Security: Intergovernmental Coordination and Partnership Will
Be Critical to Success:
Statement of JayEtta Hecker:
Director, Physical Infrastructure:
GAO-02-899T:
Mr. Chairman and Members of the Subcommittee:
I appreciate the opportunity to be here to discuss issues critical to
successful federal leadership of, assistance to, and partnership with
state and local governments to enhance homeland security. As you are
aware, the challenges posed by homeland security exceed the capacity
and authority of any one level of government. Protecting the nation
against these unique threats calls for a truly integrated approach,
bringing together the resources of all levels of government.
In my testimony today, I will focus on the challenges facing the
federal government in (1) establishing a leadership structure for
homeland security, (2) defining the roles of different levels of
government, (3) developing performance goals and measures, and (4)
deploying appropriate tools to best achieve and sustain national
goals. My comments are based on a body of GAO’s work on terrorism and
emergency preparedness and policy options for the design of federal
assistance, [Footnote 1] our review of many other studies, [Footnote
2] and the Comptroller General’s June 25, 2002, testimony on the new
Department of Homeland Security (DHS) proposal. In addition, I will
draw on GAO’s ongoing work for this Subcommittee, including an
examination of the diverse ongoing and proposed federal preparedness
programs, as well as a series of case studies we are conducting that
examine preparedness issues facing state and local governments. To
date, we have conducted interviews of officials in four geographically
diverse cities: Baltimore, Maryland; New Orleans, Louisiana; Denver,
Colorado; and, Los Angeles, California. We have also interviewed state
emergency management officials in these states.
In summary:
* The proposed Department of Homeland Security will clearly have a
central role in the success of efforts to enhance homeland security.
Many aspects of the proposed consolidation of homeland security
programs have the potential to reduce fragmentation, improve
coordination, and clarify roles and responsibilities. Realistically,
however, in the short term, the magnitude of the challenges that the
new department faces will clearly require substantial time and effort,
and will take additional resources to make it effective. Moreover,
formation of a department should not be considered a replacement for
the timely issuance of a national homeland security strategy, which is
needed to guide implementation of the complex mission of the department.
* Appropriate roles and responsibilities within and between the levels
of government and with the private sector are evolving and need to be
clarified. New threats are prompting a reassessment and shifting of
longstanding roles and responsibilities, but these shifts are being
considered on a piecemeal and ad hoc basis without benefit of an
overarching framework and criteria to guide the process. A national
strategy could provide such guidance by more systematically
identifying the unique capacities and resources of each level of
government to enhance homeland security and by providing increased
accountability within the intergovernmental system.
* The nation does not yet have performance goals and measures upon
which to assess and improve preparedness at all levels of government.
Standards are a common set of criteria that can demonstrate success,
promote accountability and determine areas where additional resources
are needed, such as improving communications and equipment
interoperability. Standards could also be used to help set goals and
performance measures as a basis for assessing the effectiveness of
federal programs. In the intergovernmental environment, these are
often best defined through cooperative, partnership approaches.
* A careful choice of the most appropriate assistance tools is
critical to achieve and sustain national goals. The choice and design
of policy tools, such as grants, regulations, and tax incentives, can
enhance the capacity of all levels of government to target areas of
highest risk and greatest need, promote shared responsibilities by all
parties, and track and assess progress toward achieving national
preparedness goals.
Background:
Homeland security is a complex mission that involves a broad range of
functions performed throughout government, including law enforcement,
transportation, food safety and public health, information technology,
and emergency management, to mention only a few. Federal, state, and
local governments have shared responsibility in preparing for
catastrophic terrorist attacks as well as other disasters. The initial
responsibility for planning, preparing, and response falls upon local
governments and their organizations--such as police, fire departments,
emergency medical personnel, and public health agencies--which will
almost invariably be the first responders to such an occurence. For
its part, the federal government has principally provided leadership,
training, and funding assistance.
The federal government’s role in responding to major disasters has
historically been defined by the Stafford Act, [Footnote 3] which
makes most federal assistance contingent on a finding that the
disaster is so severe as to be beyond the capacity of state and local
governments to respond effectively. Once a disaster is declared, the
federal government--through the Federal Emergency Management Agency
(FEMA)--may reimburse state and local governments for between 75 and
100 percent of eligible costs, including response and recovery
activities.
In addition to post disaster assistance, there has been an increasing
emphasis over the past decade on federal support of state and local
governments to enhance national preparedness for terrorist attacks.
After the nerve gas attack in the Tokyo subway system on March 20,
1995, and the Oklahoma City bombing on April 19, 1995, the United
States initiated a new effort to combat terrorism. In June 1995,
Presidential Decision Directive 39 was issued, enumerating
responsibilities for federal agencies in combating terrorism,
including domestic terrorism. Recognizing the vulnerability of the
United States to various forms of terrorism, the Congress passed the
Defense against Weapons of Mass Destruction Act of 1996 (also known as
the Nunn-Lugar-Domenici program) to train and equip state and local
emergency services personnel who would likely be the first responders
to a domestic terrorist event. Other federal agencies, including those
in FEMA; the Departments of Justice, Health and Human Services, and
Energy; and the Environmental Protection Agency, have also developed
programs to assist state and local governments in preparing for
terrorist events.
As emphasis on terrorism prevention and response grew, however, so did
concerns over coordination and fragmentation of federal efforts. More
than 40 federal entities have a role in combating and responding to
terrorism, and more than 20 in bioterrorism alone. Our past work,
conducted prior to the establishment of an Office of Homeland Security
and a proposal to create a new Department of Homeland Security, has
shown coordination and fragmentation problems stemming largely from a
lack of accountability within the federal government for terrorism-
related programs and activities. Further, our work found there was an
absence of a central focal point that caused a lack of a cohesive
effort and the development of similar and potentially duplicative
programs. Also, as the Gilmore Commission report notes, state and
local officials have voiced frustration about their attempts to obtain
federal funds from different programs administered by different
agencies and have argued that the application process is burdensome
and inconsistent among federal agencies.
President Bush took a number of important steps in the aftermath of
the terrorist attacks of September 11TH to address the concerns of
fragmentation and to enhance the country’s homeland security efforts,
including the creation of the Office of Homeland Security in October
2001. The creation of such a focal point is consistent with a previous
GAO recommendation. [Footnote 4] The Office of Homeland Security
achieved some early results in suggesting a budgetary framework and
emphasizing homeland security priorities in the President’s proposed
budget.
Proposed Department Will Have A Central Role in Strengthening Homeland
Security:
The proposal to create a statutorily based Department of Homeland
Security holds promise to better establish the leadership necessary in
the homeland security area. It can more effectively capture homeland
security as a long-term commitment grounded in the institutional
framework of the nation’s governmental structure. As we have
previously noted, the homeland security area must span the terms of
various administrations and individuals. Establishing a Department of
Homeland Security by statute will ensure legitimacy, authority,
sustainability, and the appropriate accountability to Congress and the
American people.
The President’s proposal calls for the creation of a Cabinet
department with four divisions, including Chemical, Biological,
Radiological, and Nuclear Countermeasures; Information Analysis and
Infrastructure Protection; Border and Transportation Security; and
Emergency Preparedness and Response. Table 1 shows the major
components of the proposed department with associated budgetary
estimates.
Table 1: Department of Homeland Security Component Funding (FY 2003
Requested):
Chemical, Biological, Radiological, and Nuclear Countermeasures.
Civilian Biodefense Research Programs (HHS);
Dollars in millions: $1,993;
FTE (1): 150.
Lawrence Livermore National Laboratory (DOE);
Dollars in millions: $1,188;
FTE (1): 324.
National BW Defense Analysis Center (New);
Dollars in millions: $420;
FTE (1): [Empty].
Plum Island Animal Disease Center (USDA);
Dollars in millions: $25;
FTE (1): 124.
Dollars in millions: $3,626;
FTE (1): 598.
Information Analysis and Infrastructure Protection.
Critical Infrastructure Assurance Office (Commerce);
Dollars in millions: $27;
FTE (1): 65.
Federal Computer Incident Response Center (GSA);
Dollars in millions: $11;
FTE (1): 23.
National Communications System (DOD);
Dollars in millions: $155;
FTE (1): 91.
National Infrastructure Protection Center (FBI);
Dollars in millions: $151;
FTE (1): 795.
National Infrastructure Simulation and Analysis Center (DOE);
Dollars in millions: $20;
FTE (1): 2.
Dollars in millions: $364;
FTE (1): 976.
Border and Transportation Security.
Immigration and Naturalization Service (DOJ);
Dollars in millions: $6,416;
FTE (1): 39,459.
Customs Service (Treasury);
Dollars in millions: $3,796;
FTE (1): 21,743.
Animal and Plant Health Inspection Service (USDA);
Dollars in millions: $1,137;
FTE (1): 8,620.
Coast Guard, (DOT);
Dollars in millions: $7,274;
FTE (1): 43,639.
Federal Protective Services (GSA);
Dollars in millions: $418;
FTE (1): 1,408.
Transportation Security Agency (DOT) (2);
Dollars in millions: $4,800;
FTE (1): 41,300.
Dollars in millions: $23,841;
FTE (1): 156,169.
Emergency Preparedness and Response.
Federal Emergency Management Agency;
Dollars in millions: $6,174;
FTE (1): 5,135.
Chemical, Biological, Radiological, and Nuclear Response Assets (HHS);
Dollars in millions: $2,104;
FTE (1): 150.
Domestic Emergency Support Team;
Dollars in millions: [Empty];
FTE (1): [Empty].
Nuclear Incident Response (DOE);
Dollars in millions: $91;
FTE (1): [Empty].
Office of Domestic Preparedness (DOJ);
Dollars in millions: [Empty];
FTE (1): [Empty].
National Domestic Preparedness (FBI);
Dollars in millions: $2;
FTE (1): 15.
Dollars in millions: $8,371;
FTE (1): 5,300.
Secret Service (Treasury);
Dollars in millions: $1,248;
FTE (1): 6,111.
Total, Department of Homeland Security; Dollars in millions: $37,450;
FTE (1): 169,154.
Note: Figures are from FY 2003 President’s Budget Request.
(1) Estimated, final FTE figures to be determined.
(2) Before fee recapture of $2,346 million.
Source: “Department of Homeland Security,” President George W. Bush,
June 2002.
[End of table]
The DHS would be responsible for coordination with other executive
branch agencies involved in homeland security, including the Federal
Bureau of Investigation and the Central Intelligence Agency.
Additionally, the proposal to establish the DHS calls for coordination
with nonfederal entities and directs the new Secretary to reach out to
state and local governments and the private sector in order to:
* ensure that adequate and integrated planning, training, and
exercises occur, and that first responders have the equipment they
need;:
* coordinate and, as appropriate, consolidate the federal government’s
communications systems relating to homeland security with state and
local governments’ systems;:
* direct and supervise federal grant programs for state and local
emergency response providers; and:
* distribute or, as appropriate, coordinate the distribution of
warnings and information to state and local government personnel,
agencies and authorities, and the public.
Many aspects of the proposed consolidation of homeland security
programs are in line with previous recommendations and show promise
towards reducing fragmentation and improving coordination. For
example, the new department would consolidate federal programs for
state and local planning and preparedness from several agencies and
place them under a single organizational umbrella. Based on its prior
work, GAO believes that the consolidation of some homeland security
functions makes sense and will, if properly organized and implemented,
over time lead to more efficient, effective and coordinated programs,
better intelligence sharing, and a more robust protection of our
people, and borders and critical infrastructure.
However, as the Comptroller General has recently testified, [Footnote
5] implementation of the new department will be an extremely complex
task, and in the short term, the magnitude of the challenges that the
new department faces will clearly require substantial time and effort,
and will take additional resources to make it effective. Further, some
aspects of the new department, as proposed, may result in yet other
concerns. As we reported on June 25, 2002, [Footnote 6] the new
department would include public health assistance programs that have
both basic public health and homeland security functions. These dual-
purpose programs have important synergies that should be maintained
and could be disrupted, as the President’s proposal was not
sufficiently clear on how both the homeland security and public health
objectives would be accomplished.
In addition, the recent proposal for establishing DHS should not be
considered a substitute for, nor should it supplant, the timely
issuance of a national homeland security strategy. At this time, a
national homeland security strategy does not exist. Once developed,
the national strategy should define and guide the roles and
responsibilities of federal, state, and local entities, identify
national performance goals and measures, and outline the selection and
use of appropriate tools as the nation’s response to the threat of
terrorism unfolds.
Challenges Remain in Defining Appropriate Intergovernmental Roles:
The new department will be a key player in the daunting challenges of
defining the roles of the various actors within the intergovernmental
system responsible for homeland security. In areas ranging from fire
protection to drinking water to port security, the new threats are
prompting a reassessment and shift of longstanding roles and
responsibilities. However, proposed shifts in roles and
responsibilities are being considered on a piecemeal and ad hoc basis
without benefit of an overarching framework and criteria to guide this
process. A national strategy could provide such guidance by more
systematically identifying the unique capacities and resources of each
level of government and matching them to the job at hand.
The proposed legislation provides for the new department to reach out
to state and local governments and the private sector to coordinate
and integrate planning, communications, information, and recovery
efforts addressing homeland security. This is important recognition of
the critical role played by nonfederal entities in protecting the
nation from terrorist attacks. State and local governments play
primary roles in performing functions that will be essential to
effectively addressing our new challenges. Much attention has already
been paid to their role as first responders in all disasters, whether
caused by terrorist attacks or natural hazards. State and local
governments also have roles to play in protecting critical
infrastructure and providing public health and law enforcement
response capability.
Achieving national preparedness and response goals hinge on the
federal government’s ability to form effective partnerships with
nonfederal entities. Therefore, federal initiatives should be
conceived as national, not federal in nature. Decisionmakers have to
balance the national interest of prevention and preparedness with the
unique needs and interests of local communities. A “one-size-fits-all”
federal approach will not serve to leverage the assets and
capabilities that reside within state and local governments and the
private sector. By working collectively with state and local
governments, the federal government gains the resources and expertise
of the people closest to the challenge. For example, protecting
infrastructure such as water and transit systems lays first and most
often with nonfederal levels of government.
Just as partnerships offer opportunities, they also pose risks based
upon the different interests reflected by each partner. From the
federal perspective, there is the concern that state and local
governments may not share the same priorities for use of federal
funds. This divergence of priorities can result in state and local
governments simply replacing (“supplanting”) their own previous levels
of commitment in these areas with the new federal resources. From the
state and local perspective, engagement in federal programs opens them
up to potential federal preemption and mandates. From the public’s
perspective, partnerships if not clearly defined, risk blurring
responsibility for the outcome of public programs.
Our fieldwork at federal agencies and at local governments suggests a
shift is potentially underway in the definition of roles and
responsibilities between federal, state and local governments with far
reaching consequences for homeland security and accountability to the
public. The challenges posed by the new threats are prompting
officials at all levels of government to rethink long standing
divisions of responsibilities for such areas as fire services, local
infrastructure protection and airport security. The proposals on the
table recognize that the unique scale and complexity of these threats
call for a response that taps the resources and capacities of all
levels of government as well as the private sector.
In many areas, the proposals would impose a stronger federal presence
in the form of new national standards or assistance. For instance, the
Congress is debating proposals to mandate new vulnerability
assessments and protective measures on local communities for drinking
water facilities. Similarly, new federal rules have mandated local
airport authorities to provide new levels of protection for security
around airport perimeters. The block grant proposal for first
responders would mark a dramatic upturn in the magnitude and role of
the federal government in providing assistance and standards for fire
service training and equipment.
Although promising greater levels of protection than before, these
shifts in roles and responsibilities have been developed on an ad hoc
piecemeal basis without the benefit of common criteria. An ad hoc
process may not capture the real potential each actor in our system
offers. Moreover, a piecemeal redefinition of roles risks the further
fragmentation of the responsibility for homeland security within local
communities, blurring lines of responsibility and accountability for
results. While federal, state, and local governments all have roles to
play, care must be taken to clarify who is responsible for what so
that the public knows whom to contact to address their problems and
concerns. The development of a national strategy provides a window of
opportunity to more systematically identify the unique resources and
capacities of each level of government and better match these
capabilities to the particular tasks at hand. If developed in a
partnerial fashion, such a strategy can also promote the
participation, input and buy in of state and local partners whose
cooperation is essential for success.
Governments at the local level are also moving to rethink roles and
responsibilities to address the unique scale and scope of the
contemporary threats from terrorism. Numerous local general-purpose
governments and special districts co-exist within metropolitan regions
and rural areas alike. Many regions are starting to assess how to
restructure relationships among contiguous local entities to take
advantage of economies of scale, promote resource sharing, and improve
coordination of preparedness and response on a regional basis.
For example, mutual aid agreements provide a structure for assistance
and for sharing resources among jurisdictions in preparing for and
responding to emergencies and disasters. Because individual
jurisdictions may not have all the resources they need to acquire
equipment and respond to all types of emergencies and disasters, these
agreements allow for resources to be regionally distributed and
quickly deployed. The terms of mutual aid agreements vary for
different services and different localities. These agreements provide
opportunities for state and local governments to share services,
personnel, supplies, and equipment. We have found in our fieldwork
that mutual aid agreements can be both formal and informal and provide
for cooperative planning, training, and exercises in preparation for
emergencies and disasters. Additionally, some of these agreements
involve private companies and local military bases, as well as local
entities.
Performance Goals and Measures Needed in Homeland Security Programs:
The proposed Department, in fulfilling its broad mandate, has the
challenge of developing a performance focus. The nation does not have
a baseline set of performance goals and measures upon which to assess
and improve preparedness. The capability of state and local
governments to respond to catastrophic terrorist attacks remains
uncertain. The president’s fiscal year 2003 budget proposal
acknowledged that our capabilities for responding to a terrorist
attack vary widely across the country. The proposal also noted that
even the best prepared states and localities do not possess adequate
resources to respond to the full range of terrorist threats we face.
Given the need for a highly integrated approach to the homeland
security challenge, performance measures may best be developed in a
collaborative way involving all levels of government and the private
sector.
Proposed measures have been developed for state and local emergency
management programs by a consortium of emergency managers from all
levels of government and have been pilot tested in North Carolina and
North Dakota. Testing at the local level is planned for fiscal year
2002 through the Emergency Management Accreditation Program (EMAP).
EMAP is administered by the National Emergency Management Association--
an association of directors of state emergency management departments--
and funded by FEMA. Its purpose is to establish minimum acceptable
performance criteria, by which emergency managers can assess and
enhance current programs to mitigate, prepare for, respond to, and
recover from disasters and emergencies. For example, one such standard
is the requirement (1) that the program must develop the capability to
direct, control, and coordinate response and recovery operations, (2)
that an incident management system must be utilized, and (3) that
organizational roles and responsibilities shall be identified in the
emergency operational plans. In recent meetings, FEMA officials have
said that EMAP is a step in the right direction towards establishing
much needed national standards for preparedness. FEMA officials have
suggested they plan on using EMAP as a building block for a set of
much more stringent, quantifiable standards.
Standards are being developed in other areas associated with homeland
security. For example, the Coast Guard is developing performance
standards as part of its port security assessment process. The Coast
Guard is planning to assess the security condition of 55 U.S. ports
over a 3-year period, and will evaluate the security of these ports
against a series of performance criteria dealing with different
aspects of port security. According to the Coast Guard’s Acting
Director of Port Security, it also plans to have port authority or
terminal operators develop security plans based on these performance
standards.
Communications is an example of an area for which standards have not
yet been developed, but various emergency managers and other first
responders have continuously highlighted that standards are needed.
State and local governments often report there are deficiencies in
their communications capabilities, including the lack of interoperable
systems. Additionally, FEMA’s Director has stressed the importance of
improving communications nationwide.
The establishment of national measures for preparedness will not only
go a long way towards assisting state and local entities determine
successes and areas where improvement is needed, but could also be
used as goals and performance measures as a basis for assessing the
effectiveness of federal programs. At the federal level, measuring
results for federal programs has been a longstanding objective of the
Congress. The Congress enacted the Government Performance and Results
Act of 1993 (commonly referred to as the Results Act). The legislation
was designed to have agencies focus on the performance and results of
their programs rather than on program resources and activities, as
they had done in the past. Thus, the Results Act became the primary
legislative framework through which agencies are required to set
strategic and annual goals, measure performance, and report on the
degree to which goals are met. The outcome-oriented principles of the
Results Act include (1) establishing general goals and quantifiable,
measurable, outcome-oriented performance goals and related measures;
(2) developing strategies for achieving the goals, including
strategies for overcoming or mitigating major impediments; (3)
ensuring that goals at lower organizational levels align with and
support general goals; and (4) identifying the resources that will be
required to achieve the goals.
However, FEMA has had difficulty in assessing program performance. As
the president’s fiscal year 2003 budget request acknowledges, FEMA
generally performs well in delivering resources to stricken
communities and disaster victims quickly. The agency performs less
well in its oversight role of ensuring the effective use of such
assistance. Further, the agency has not been effective in linking
resources to performance information. FEMA’s Office of Inspector
General has found that FEMA did not have an ability to measure state
disaster risks and performance capability, and it concluded that the
agency needed to determine how to measure state and local preparedness
programs.
In the area of bioterrorism, the Centers for Disease Control and
Prevention (CDC) within the Department of Health and Human Services is
requiring state and local entities to meet certain performance
criteria in order to qualify for grant funding. The CDC has made
available 20 percent of the fiscal year 2002 funds for the cooperative
agreement program to upgrade state and local public health jurisdictions
’ preparedness for and response to bioterrorism and other public
health threats and emergencies. However, the remaining 80% of the
available funds is contingent on receipt, review, and approval of a
work plan that must contain 14 specific critical benchmarks. These
include the preparation of a timeline for assessment of emergency
preparedness and response capabilities related to bioterrorism, the
development of a state-wide plan for responding to incidents of
bioterrorism, and the development of a system to receive and evaluate
urgent disease reports from all parts their state and local public
health jurisdictions on a 24-hour per day, 7-day per week basis.
Performance goals and measures should be used to guide the nation’s
homeland security efforts. For the nation’s homeland security
programs, however, outcomes of where the nation should be in terms of
domestic preparedness have yet to be defined. The national homeland
security strategy, when developed, should contain such goals and
measures and provide a framework for assessing program results. Given
the recent and proposed increases in homeland security funding as well
as the need for real and meaningful improvements in preparedness,
establishing clears goals and performance measures is critical to
ensuring both a successful and fiscally responsible effort.
Appropriate Tools Need to Be Selected For Providing Assistance:
The choice and design of the policy tools the federal government uses
to engage and involve other levels of government and the private
sector to enhancing homeland security will have important consequences
for performance and accountability. Governments have a variety of
policy tools including grants, regulations, tax incentives, and
information-sharing mechanisms to motivate or mandate other levels of
government or the private sector to address security concerns. The
choice of policy tools will affect sustainability of efforts,
accountability and flexibility, and targeting of resources. The design
of federal policy will play a vital role in determining success and
ensuring that scarce federal dollars are used to achieve critical
national goals.
Grants:
The federal government often uses grants to state and local
governments as a means of delivering federal assistance. Categorical
grants typically permit funds to be used for specific, narrowly
defined purposes. Block grants typically can be used by state and
local governments to support a range of activities aimed at achieving
a broad, national purpose and to provide a great deal of discretion to
state and local officials. In designing grants, it is important to (1)
target the funds to state and localities with the greatest need based
on highest risk and lowest capacity to meet these needs from their own
resource base, (2) discourage the replacement of state and local funds
with federal funds, commonly referred to as supplantation, with a
maintenance-of-effort requirement that recipients maintain their level
of previous funding, and (3) strike a balance between accountability
and flexibility. At their best, grants can stimulate state and local
governments to enhance their preparedness to address the unique
threats posed by terrorism. Ideally, grants should stimulate higher
levels of preparedness and avoid simply subsidizing local functions
that are traditionally state or local responsibilities. One approach
used in other areas is the “seed money” model in which federal grants
stimulate initial state and local activity with the intent of
transferring responsibility for sustaining support over time to state
and local governments.
Recent funding proposals, such as the $3.5 billion block grant for
first responders contained in the president’s fiscal year 2003 budget,
have included some of these provisions. This grant would be used by
state and local government’s to purchase equipment, train personnel,
exercise, and develop or enhance response plans. FEMA officials have
told us that it is still in the early stages of grant design and is in
the process of holding various meetings and conferences to gain input
from a wide range of stakeholders including state and local emergency
management directors, local law enforcement responders, fire
responders, health officials, and FEMA staff. Once the details of the
grant have been finalized, it will be useful to examine the design to
assess how well the grant will target funds, discourage supplantation,
provide the appropriate balance between accountability and
flexibility, and whether it provides temporary “seed money” or
represents a long-term funding commitment.
Regulations:
Other federal policy tools can also be designed and targeted to elicit
a prompt, adequate, and sustainable response. In the area of
regulatory authority, the Federal, state, and local governments share
authority for setting standards through regulations in several areas,
including infrastructure and programs vital to preparedness (for
example, transportation systems, water systems, public health). In
designing regulations, key considerations include how to provide
federal protections, guarantees, or benefits while preserving an
appropriate balance between federal and state and local authorities
and between the public and private sectors. An example of
infrastructure regulations include the new federal mandate requiring
that local drinking water systems in cities above a certain size
provide a vulnerability assessment and a plan to remedy
vulnerabilities as part of ongoing EPA reviews while the new
Transportation Security Act is representative of a national
preparedness regulation as it grants the Department of Transportation
authority to order deployment of local law enforcement personnel in
order to provide perimeter access security at the nation’s airports.
In designing a regulatory approach, the challenges include determining
who will set the standards and who will implement or enforce them.
There are several models of shared regulatory authority offer a range
of approaches that could be used in designing standards for
preparedness. Examples of these models range from preemption though
fixed federal standards to state and local adoption of voluntary
standards formulated by quasi-official or nongovernmental entities.
[Footnote 7]:
Tax Incentives:
As the Administration noted protecting America’s infrastructure is a
shared responsibility of federal, state, and local government, in
active partnership with the private sector, which owns approximately
85 percent of our nation’s critical infrastructure. To the extent that
private entities will be called upon to improve security over
dangerous materials or to protect critical infrastructure, the federal
government can use tax incentives to encourage or enforce their
activities. Tax incentives are the result of special exclusions,
exemptions, deductions, credits, deferrals, or tax rates in the
federal tax laws. Unlike grants, tax incentives do not generally
permit the same degree of federal oversight and targeting, and they
are generally available by formula to all potential beneficiaries who
satisfy congressionally established criteria.
Information Sharing:
Since the events of September 11th, a task force of mayors and police
chiefs has called for a new protocol governing how local law
enforcement agencies can assist federal agencies, particularly the
FBI, given the information needed to do so. As the U.S. Conference of
Mayors noted, a close working partnership of local and federal law
enforcement agencies, which includes the sharing of intelligence, will
expand and strengthen the nation’s overall ability to prevent and
respond to domestic terrorism. The USA Patriot Act provides for
greater sharing of intelligence among federal agencies. An expansion
of this act has been proposed (S1615; H.R. 3285) that would provide
for information sharing among federal, state and local law enforcement
agencies. In addition, the Intergovernmental Law Enforcement Sharing
Act of 2001 (H.R. 3483), which you sponsored Mr. Chairman, addresses a
number of information sharing needs. For instance, the proposed
legislation provides that the Attorney General expeditiously grant
security clearances to Governors who apply for them and to state and
local officials who participate in federal counter-terrorism working
groups or regional task forces.
Conclusion:
The proposal to establish a new Department of Homeland Security
represents an important recognition by the Administration and the
Congress that much still needs to be done to improve and enhance the
security of the American people. The DHS will clearly have a central
role in the success of efforts to strengthen homeland security, but it
is a role that will be made stronger within the context of a larger,
more comprehensive and integrated national homeland security strategy.
Moreover, given the unpredictable characteristics of terrorist
threats, it is essential that the strategy be formulated at a national
rather than federal level with specific attention given to the
important and distinct roles of state and local governments.
Accordingly, decisionmakers will have to balance the federal approach
to promoting homeland security with the unique needs, capabilities,
and interests of state and local governments. Such an approach offers
the best promise for sustaining the level of commitment needed to
address the serious threats posed by terrorism.
This completes my prepared statement. I would be pleased to respond to
any questions you or other members of the Subcommittee may have.
Contacts and Acknowledgments:
For further information about this testimony, please contact me at
(202) 512-2834 or Paul Posner at (202) 512-9573. Other key
contributors to this testimony include Matthew Ebert, Thomas James,
Kristen Massey, David Laverny-Rafter, Yvonne Pufahl, Jack Schulze, and
Amelia Shachoy.
[End of Section]
Related GAO Products:
Homeland Security:
Homeland Security: Proposal for Cabinet Agency Has Merit, But
Implementation Will Be Pivotal to Success. GAO-02-886T. Washington,
D.C. June 25, 2002.
Homeland Security: Key Elements to Unify Efforts Are Underway but
Uncertainty Remains. GAO-02-610. Washington, D.C. June 7, 2002.
National Preparedness: Integrating New and Existing Technology and
Information Sharing into an Effective Homeland Security Strategy. GAO-
02-811T. Washington, D.C. June 7, 2002.
Homeland Security: Integration of Federal, State, Local, and Private
Sector Efforts Is Critical to an Effective National Strategy for
Homeland Security GAO-02-621T. Washington, D.C. April 11, 2002.
Combating Terrorism: Enhancing Partnerships Through a National
Preparedness Strategy. GAO-02-549T. Washington, D.C. March 28, 2002.
Homeland Security: Progress Made, More Direction and Partnership
Sought. GAO-02-490T. Washington, D.C. March 12, 2002.
Homeland Security: Challenges and Strategies in Addressing Short- and
Long-Term National Needs. GAO-02-160T. Washington, D.C. November 7,
2001.
Homeland Security: A Risk Management Approach Can Guide Preparedness
Efforts. GAO-02-208T. Washington, D.C. October 31, 2001.
Homeland Security: Need to Consider VA’s Role in Strengthening Federal
Preparedness. GAO-02-145T. Washington, D.C. October 15, 2001.
Homeland Security: Key Elements of a Risk Management Approach. GAO-
02-150T. Washington, D.C. October 12, 2001.
Homeland Security: A Framework for Addressing the Nation’s Issues.
GAO-01-1158T. Washington, D.C. September 21, 2001.
Combating Terrorism:
Combating Terrorism: Intergovernmental Cooperation in the Development
of a National Strategy to Enhance State and Local Preparedness. GAO-
02- 550T. Washington, D.C. April 2, 2002.
Combating Terrorism: Enhancing Partnerships Through a National
Preparedness Strategy. GAO-02-549T. Washington, D.C. March 28, 2002.
Combating Terrorism: Critical Components of a National Strategy to
Enhance State and Local Preparedness. GAO-02-548T. Washington, D.C.
March 25, 2002.
Combating Terrorism: Intergovernmental Partnership in a National
Strategy to Enhance State and Local Preparedness. GAO-02-547T.
Washington, D.C. March 22, 2002.
Combating Terrorism: Key Aspects of a National Strategy to Enhance
State and Local Preparedness. GAO-02-473T. Washington, D.C. March 1,
2002.
Combating Terrorism: Considerations for Investing Resources in
Chemical and Biological Preparedness. GAO-01-162T. Washington, D.C.
October 17, 2001.
Combating Terrorism: Selected Challenges and Related
Recommendations. GAO-01-822. Washington, D.C. September 20, 2001.
Combating Terrorism: Actions Needed to Improve DOD’s Antiterrorism
Program Implementation and Management. GAO-01-909. Washington, D.C.
September 19, 2001.
Combating Terrorism: Comments on H.R. 525 to Create a President’s
Council on Domestic Preparedness. GAO-01-555T. Washington, D.C. May 9,
2001.
Combating Terrorism: Observations on Options to Improve the Federal
Response. GAO-01-660T. Washington, D.C. April 24, 2001.
Combating Terrorism: Comments on Counterterrorism Leadership and
National Strategy. GAO-01-556T. Washington, D.C. March 27, 2001.
Combating Terrorism: FEMA Continues to Make Progress in Coordinating
Preparedness and Response. GAO-01-15. Washington, D.C. March 20, 2001.
Combating Terrorism: Federal Response Teams Provide Varied
Capabilities; Opportunities Remain to Improve Coordination. GAO-01-14.
Washington, D.C. November 30, 2000.
Combating Terrorism: Need to Eliminate Duplicate Federal Weapons of
Mass Destruction Training. GAO/NSIAD-00-64. Washington, D.C. March 21,
2000.
Combating Terrorism: Observations on the Threat of Chemical and
Biological Terrorism. GAO/T-NSIAD-00-50. Washington, D.C. October 20,
1999.
Combating Terrorism: Need for Comprehensive Threat and Risk
Assessments of Chemical and Biological Attack. GAO/NSIAD-99-163.
Washington, D.C. September 7, 1999.
Combating Terrorism: Observations on Growth in Federal Programs.
GAO/T-NSIAD-99-181. Washington, D.C. June 9, 1999.
Combating Terrorism: Analysis of Potential Emergency Response
Equipment and Sustainment Costs. GAO-NSIAD-99-151. Washington, D.C.
June 9, 1999.
Combating Terrorism: Use of National Guard Response Teams Is
Unclear. GAO/NSIAD-99-110. Washington, D.C. May 21, 1999.
Combating Terrorism: Observations on Federal Spending to Combat
Terrorism. GAO/T-NSIAD/GGD-99-107. Washington, D.C. March 11, 1999.
Combating Terrorism: Opportunities to Improve Domestic Preparedness
Program Focus and Efficiency. GAO-NSIAD-99-3. Washington, D.C.
November 12, 1998.
Combating Terrorism: Observations on the Nunn-Lugar-Domenici Domestic
Preparedness Program. GAO/T-NSIAD-99-16. Washington, D.C. October 2,
1998.
Combating Terrorism: Threat and Risk Assessments Can Help Prioritize
and Target Program Investments. GAO/NSIAD-98-74. Washington, D.C.
April 9, 1998.
Combating Terrorism: Spending on Governmentwide Programs Requires
Better Management and Coordination. GAO/NSIAD-98-39. Washington, D.C.
December 1, 1997.
Public Health:
Homeland Security: New Department Could Improve Coordination but may
Complicate Public Health Priority Setting. GAO-02-883T. Washington,
D.C. June 25, 2002.
Bioterrorism: The Centers for Disease Control and Prevention’s Role in
Public Health Protection. GAO-02-235T. Washington, D.C. November 15,
2001.
Bioterrorism: Review of Public Health and Medical Preparedness. GAO-
02-149T. Washington, D.C. October 10, 2001.
Bioterrorism: Public Health and Medical Preparedness. GAO-02-141T.
Washington, D.C. October 10, 2001.
Bioterrorism: Coordination and Preparedness. GAO-02-129T. Washington,
D.C. October 5, 2001.
Bioterrorism: Federal Research and Preparedness Activities. GAO-01-
915. Washington, D.C. September 28, 2001.
Chemical and Biological Defense: Improved Risk Assessments and
Inventory Management Are Needed. GAO-01-667. Washington, D.C.
September 28, 2001.
West Nile Virus Outbreak: Lessons for Public Health Preparedness.
GAO/HEHS-00-180. Washington, D.C. September 11, 2000.
Need for Comprehensive Threat and Risk Assessments of Chemical and
Biological Attacks. GAO/NSIAD-99-163. Washington, D.C. September 7,
1999.
Chemical and Biological Defense: Program Planning and Evaluation
Should Follow Results Act Framework. GAO/NSIAD-99-159. Washington,
D.C. August 16, 1999.
Combating Terrorism: Observations on Biological Terrorism and Public
Health Initiatives. GAO/T-NSIAD-99-112. Washington, D.C. March 16, 1999.
Disaster Assistance:
Disaster Assistance: Improvement Needed in Disaster Declaration
Criteria and Eligibility Assurance Procedures. GAO-01-837. Washington,
D.C. August 31, 2001.
FEMA and Army Must Be Proactive in Preparing States for Emergencies.
GAO-01-850. Washington, D.C. August 13, 2001.
Federal Emergency Management Agency: Status of Achieving Key Outcomes
and Addressing Major Management Challenges. GAO-01-832. Washington,
D.C. July 9, 2001.
Budget and Management:
Managing for Results: Progress in Linking Performance Plans with
Budget and Financial Statements. GAO-02-236. Washington, D.C. January
4, 2002.
Results-Oriented Budget Practices in Federal Agencies. GAO-01-1084SP.
Washington, D.C. August 2001.
Managing for Results: Federal Managers’ Views on Key Management Issues
Vary Widely across Agencies. GAO-01-0592. Washington, D.C. May 2001.
Determining Performance and Accountability Challenges and High
Risks. GAO-01-159SP. Washington, D.C. November 2000.
Managing for Results: Using the Results Act to Address Mission
Fragmentation and Program Overlap. GAO/AIMD-97-156. Washington, D.C.
August 29, 1997.
Government Restructuring: Identifying Potential Duplication in Federal
Missions and Approaches. GAO/T-AIMD-95-161. Washington, D.C. June 7,
1995.
Grant Design:
Grant Programs: Design Features Shape Flexibility, Accountability, and
Performance Information. GAO/GGD-98-137. Washington, D.C. June 22, 1998.
Federal Grants: Design Improvements Could Help Federal Resources Go
Further. GAO/AIMD-97-7. Washington, D.C. December 18, 1996.
Block Grants: Issues in Designing Accountability Provisions.
GAO/AIMD-95-226. Washington, D.C. September 1, 1995.
[End of section]
Footnotes:
[1] See attached listing of related GAO products.
[2] These studies include the Advisory Panel to Assess Domestic
Response Capabilities for Terrorism Involving Weapons of Mass
Destruction, Third Annual Report (Arlington, Va., Dec. 15, 2001); and
the United States Commission on National Security/21st Century, Road
Map for Security: Imperative for Change (February 15, 2001).
[3] Robert T. Stafford Disaster Relief and Emergency Assistance Act
(P.L. 93-288) as amended establishes the process for states to request
a presidential disaster declaration.
[4] U.S. General Accounting Office, Combating Terrorism: Selected
Challenges and Related Recommendations, GAO-01-822 (Washington, D.C.
June 2002).
[5] U.S. General Accounting Office, Homeland Security: Responsibility
and Accountability for Achieving National Goals, GAO-02-627T
(Washington, D.C. April 11, 2002).
[6] U.S. General Accounting Office, Homeland Security: Proposal for
Cabinet Agency Has Merit, but Implementation Will Be Pivotal to
Success, GAO-02-886T (Washington, D.C. June 25, 2002).
[7] U.S. General Accounting Office, Homeland Security: New Department
Could Improve Coordination but May Complicate Public Health Priority
Setting, GAO-02-883T (Washington, D.C. June 25, 2002).
[8] or more information on these models, see U.S. General Accounting
Office, Regulatory Programs: Balancing Federal and State
Responsibilities for Standard Setting and Implementation, GAO-02-495
(Washington, D.C. March 20, 2002).